BD Speeches Archives | Regulatory Compliance Watch

Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee

FINRA RCW Staff - September 7 2017

Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee

Remarks at IRI Government, Legal and Regulatory Conference

FINRA RCW Staff - June 12 2017

Remarks at IRI Government, Legal and Regulatory Conference

Protecting Investors From Bad Actors

FINRA RCW Staff - June 12 2017

Protecting Investors From Bad Actors

Remarks From the 2017 FINRA Annual Conference

FINRA RCW Staff - May 17 2017

Remarks From the 2017 FINRA Annual Conference

Remarks: New Special Study Conference

FINRA RCW Staff - March 24 2017

Remarks: New Special Study Conference

Remarks at SIFMA Anti-Money Laundering and Financial Crimes Conference

FINRA RCW Staff - February 9 2017

Remarks at SIFMA Anti-Money Laundering and Financial Crimes Conference

Remarks: National Financial Capability Study Release

FINRA RCW Staff - July 12 2016

Remarks: National Financial Capability Study Release

Remarks From the 2016 FINRA Annual Conference

FINRA RCW Staff - May 23 2016

Remarks From the 2016 FINRA Annual Conference

FINRA RCW Staff - May 23 2016

Remarks at the Financial Accounting Foundation Board of Trustees Dinner

FINRA RCW Staff - May 17 2016

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BD Speeches

Commissioners Herren Lee and Crenshaw criticize no-action letter

Clayton, others endorse proposal to tighten CAT security

Commissioner Peirce raises cybersecurity concerns with CAT

Privacy concerns drive Commissioner Peirce to call for end of CAT

Equity Market Surveillance Today and the Path Ahead

Testimony Before the Subcommittee on Capital Markets, Securities, and Investment Financial Services Committee

Remarks at IRI Government, Legal and Regulatory Conference

Protecting Investors From Bad Actors

Remarks From the 2017 FINRA Annual Conference

Remarks: New Special Study Conference

Remarks at SIFMA Anti-Money Laundering and Financial Crimes Conference

Remarks: National Financial Capability Study Release

Remarks From the 2016 FINRA Annual Conference

Remarks From the 2016 FINRA Annual Conference

Remarks at the Financial Accounting Foundation Board of Trustees Dinner

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